Coral Capital Partners looks at a recent SEC Enforcement Action concerning Market Manipulation, Broker Bribery, and Matched Trades. In our look at this enforcement action we provide a detailed explanation of how these schemes work and the penalties for participating in these schemes. We feel that our blog along with the associated SEC Litigation Release and Complaint filed in Federal Court will provide an interesting reading.
Tag: Section 9
Section 9 of the Exchange Act of 1934 addresses prohibited activities that are considered forms of market manipulation. Coral Capital Partners looks at various issues an enforcement actions by the Securities Exchange Commission (SEC) and Department of Justice (DOJ) concerning violations of Section 9 of the Exchange Act of 1934